12:30 - 12:50pm
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Welcome, Regulatory and Legislative Update: General Session
IAA staff will provide the latest updates on SEC and other key regulatory and legislative developments from Washington, DC.
- Gail Bernstein, General Counsel, IAA
- Neil Simon, Vice President, Government Relations, IAA
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12:50 - 1:50pm
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Hot Topics and Implementation Challenges for Advisers: General Session
Learn about new and upcoming regulatory requirements and implementation challenges for advisers, including changes to the Advertising Rule, the Solicitation Rule, proxy voting, Form CRS, examinations, and other hot topics. Hear insights into where the SEC is focusing its resources so firms can analyze their risk profiles in light of new and impending changes. Take away best practices to implement and identify pitfalls to avoid.
- Michael McGrath, Partner, K&L Gates LLP
- Kevin Ehrlich, Manager, U.S. Regulatory Affairs & CCO, Western Asset Management Company
- Cathy Vasilev, Founding Member, Chief Operating Officer, Red Oak Compliance Solutions
- Sanjay Lamba, Associate General Counsel, IAA, MODERATOR
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1:50 - 2:00pm
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Break
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2:00 - 2:45pm
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Securities and Exchange Commission Regional Offices: Concurrent Breakout Sessions
Hear directly from senior staff in your SEC Regional Office discuss current SEC examination priorities for advisers. These panels on each day will include SEC Regional Office speakers in three different breakout sessions.
Breakout 1 – SEC Atlanta Regional Office
- Samara V. Ross, Associate Regional Director (Office of Compliance, Inspections, and Examinations) and John P. Sweeney, Strategic Risk Coordinator
Breakout 2 – SEC Boston Regional Office
- Paul Levenson, Regional Director, Kevin Kelcourse, Associate Regional Director (Examinations), Mayeti Gametchu, Assistant Director, and Elizabeth Ward, Examinations Manager
Breakout 3 – SEC San Francisco Regional Office
- Erin Schneider, Regional Director, and Kristin Snyder, Deputy Director of OCIE and Associate Regional Director (Examinations)
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2:45 - 3:00pm
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Break
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3:00 - 3:45pm
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Securities and Exchange Commission Regional Offices: Concurrent Breakout Sessions
Breakout 1 – SEC Chicago Regional Office
- Louis A. Gracia, Associate Regional Director (Examinations)
Breakout 2 – SEC Denver Regional Office
- Kurt Gottschall, Regional Director
Breakout 3 – SEC Philadelphia Regional Office
- Kelly L. Gibson, Regional Director
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3:50 - 4:05pm
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Key Takeaways from SEC Sessions: General Session
- Monique Botkin, Associate General Counsel, IAA
- Sarah Buescher, Associate General Counsel, IAA
- Paul Glenn, Special Counsel, IAA
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4:05 - 4:30pm
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Virtual Meet and Greet
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